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Director, GFS Risk Management & Compliance


San Jose, CA 95116
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Job Details

The GFS Director, Risk Management & Compliance-LTAM works closely with the GFS-LTAM Site Lead, GRCC GFS Lead, Shared Services Process Owners, GFS Costa Rica Divisional Controller, GFS RM&C Sr. Director-Global, other GFS Regional Risk Managers, GFS stakeholders and others to manage risk by driving compliance with financial, business process and operational controls. The role also drives process improvements across existing processes at GFS-LTAM and new processes being migrated to the Site from the Markets and acquired companies, and to the outsourced BPO (Genpact). The role is also responsible for compliance for the following global Centers of Excellence (COE's): Fixed Assets and Inventory, ASL Coordination and FCPA.


**Risk Management & Compliance:** Take the lead in performing the following, leveraging a network of "controls champions" SMEs from the Site process owner groups, as appropriate:

-Drill down into processes and controls with process owners in the order-to-cash, invoice-to-pay and record-to-report cycles, including the global COE's for fixed assets and inventory, ASL Coordination, FCPA, and the SAP global master controls index and SAP Process Controls Module.

-Ensure the start-up of COE's have appropriate controls documentation as well as alignment of processes with other GFS Sites that contribute to the performance of the COE.

-Perform "what-if" analyses with the process owner SME's on what could go wrong with the processes and controls, including COE activities, and proactively assess where control gaps may exist, particularly with respect (1) to newly migrated processes and applications, (2) more complex areas, such as inventory reserves, fixed assets CIP, ASL Coordination COE controls, FCPA COE controls (3) other significant changes to processes or applications. Document recommendations and improvements made in established "risk reviews" and align and leverage results with other GFS Sites.

-Perform gap analysis and remediation of gaps in internal controls and accounting practices in connection with business integrations arising from business acquisitions.

-Perform reviews of new processes or applications as they come on board at the shared service center in order to proactively identify areas of risk and implement attendant mitigating controls.

-Assist in strengthening a culture of compliance awareness, ownership, accountability and openness at the Site by preparing and presenting compliance Town Halls, clinics, ethics workshops and 1:1 meetings with process owners on compliance and accounting policy developments and areas of risk and points of vulnerability in accounting and processing; thereby encouraging, communicating, and celebrating process owner identification, escalation and remediation of compliance issues or improvements.

-Prepare root cause analysis and sustainable remediations on accounting and control issues that arise, communicating using results using the established GFS "issue escalation ladder" protocol.

-Assist process owners on creation of controls-related documentation for newly migrated processes, and harmonization of controls documentation, conforming acquired company procedures and processes to established Company standards and controls, and coordinate the same with Compny compliance stakeholders.

-Partner with GFS stakeholders, including Corporate Audit and GRCC, in performing readiness reviews and coordination for efficient internal and external audits of GFS-LTAM Shared Services activities, and in closing remediations.

-Perform validation testing in connection with various upgrades or changes made to data contained in existing or new applications at the Shared Service Center (particularly in the expenditure authorization and user access areas), to ensure that batch upgrades of related information is both complete and accurate.

-Assist with collection and synthesis of information in conjunction with the local Site quarterly SOX 404 Survey reporting process and quarterly close questionnaire attestation process, and timely compile resulting quarterly Survey and questionnaire responses.

-Participate in special investigations with corporate compliance as necessary.

-Work with the ISO (Information Securities Officer) for GFS Shared Services-LTAM , including ensuring compliance with Company documents retention (Records Management) Policy, BCP (Business Continuity Planning) Policy and testing requirements, and Information Protection Records Management (IPRM) Plan, and requirements.

**GRCC-Related Activities** : Takes direct supervision from and works directly for the Regional and Global GRCC organization in their role (capacity) of a GRCC CCR for the Site comprising the following activities:

-Report identified issues or deficiencies to the GRCC and assist with remediations as necessary. Utilize the GRCC B-Wise application and the Leapfrog Tool for walkthroughs, sample selections, testing results and documentation and remediations.

-Work with process owners to ensure all GRCC findings are remediated and updated in B-Wise and in the GFS Make It Possible Balanced Score Card metrics report.

-Provide inputs on risk assessment to the GRCC Regional Lead for LTAM.

-Communicate any identified risks to GRCC testers and take a leadership perspective on addressing risks.

-Maintain professional objectivity in the execution of assignments and only perform duties based on areas of competency.

-Identify and train objective independent GRCC controls tester for each process area (P2P, R2R, O2C) independent from their day-to-day functional area of responsibility.

-Provide guidance to Site process owners to ensure process and internal controls are documented in Site SOP's; work with process owners to maintain a central depository of Site SOP's.

-Execute and coordinate ICOFR and FCPA/GPIHP risk assessments and trend analyses, work with process owners and GRCC to identify existing and emerging risks in the ICOFR and FCPA/IHP/GV spaces.

-Provide guidance to Site process owners on controls and documentation of remedial actions for any deficiencies.

-Execute control monitoring activities, using guidance, tools and templates provided by GRCC.

-Execute the performance of analytical reviews, self-assessments, walkthroughs of key controls and sample testing, as directed by GRCC, to identify control weaknesses.

-Report results of compliance monitoring activities using guidance and tools provided by the GRCC.

-Facilitate the development and execution of training materials related to ICOFR, FCPA/GPIHP/GV and T&E.

Coordinate on the above with the GRCC Regional lead to meet their deliverables across the Site.

**Miscellaneous: People, Training & Communication:**

Support the GFS "Make It Possible" best in class risk management and compliance imperatives, adopting an OWN IT! Approach, along with support of Global Reward and Recognition programs (e.g., R&R) and driving operational excellence through Straight Talk and OWN IT!-style behavior and reward and recognition schemes in line with employee feedback and industry practices; participate in Company training initiatives.


+ Minimum of Bachelor Degree in Accounting, MBA preferred

+ CPA, CIA, or CISA certification required

+ Minimum of 10 years of technical accounting/auditing experience required

+ Public accounting experience required

+ Management and supervisory experience required

+ Practical knowledge of US GAAP Accounting and COSO internal controls framework

+ SAP, JD Edwards or HFM accounting application experience an advantage

+ Fluency in English and Spanish Required and Portuguese Desired


+ Knowledge of SOX 404 requirements and documentation.

+ Knowledge of GRC-type controls monitoring and testing activities.

+ Familiarity with risk control matrices, business process flows and standard operating procedures.

+ Relationship building skills with GFS Shared Services Site process owners, management and non-GFS stakeholders (Pfizer "compliance community" including KPMG and Corporate Audit Site representatives) in order to demonstrate a position of trust.

+ Ability to communicate effectively with the Pfizer compliance community, and share information in an open and transparent way.

+ Familiarity with controls best practices in all financial areas, including outsourced arrangements and ERP applications.

+ Ability to facilitate and lead knowledge sharing and training sessions with process owners as a means of harmonizing processes and controls across multiple Markets.

+ Knowledge of ERP computer applications, preferably SAP, and attendant controls.

+ Knowledge of validation procedures in connection with application information upload projects.

+ Knowledge of analytical review, account analysis and reconciliation procedures.

+ Proficiency in PC skills (MS Excel, Word, Powerpoint) required

+ Demonstrated commitment to education and professional development.

+ Strong organizational skills required to coordinate and manage multiple cross divisional work process and projects.

+ Strong written and verbal skills enabling effective communication with all levels of management

+ Ability to operate independently and remain focused through change or uncertainty.

+ Willingness to travel for meetings and projects.

Pfizer is an equal opportunity employer and complies with all applicable equal employment opportunity legislation in each jurisdiction in which it operates.
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